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Improvement Contract and Bond_Fred Jackson Tuckpointing_North Softening Basins RehabMasterpiece on the Mississippi Dubuquw bltd AEan,eica City 1' 2005 • 201,2 • 201: TO: Michael C. Van Milligen, City Manager FROM: Bob Green, Water Department Manage SUBJECT: Fred Jackson Tuckpointing Co., Inc. — Water Treatment Plant North Softening Basins Rehabilitation Project CIP 740-2396 DATE: July 15, 2014 The purpose of this memorandum is to request your signature to the three attached contracts with Fred Jackson Tuckpointing Co., Inc. This contract has been reviewed and approved for your signature by City Attorney, Barry Lindahl and Finance Director, Ken Tekippe. Please return these contracts to me when signed. Staff and I are available should you have any questions. BG:jj Attachments cc: Jackie Johnson, Water Plant Manager File CONTRACT FORM 3 CITY OF DUBUQUE, IOWA IMPROVEMENT CONTRACT NORTH SOFTENING BASINS REHABILITATION PROJECT THIS IMPROVEMENT CONTRACT (the Contract), made in triplicate, dated for reference purposes the 2nd day of June , 2014, between the City of Dubuque, Iowa, by its City Manager, through authority conferred upon the City Manager by its City Council (City) and Fred Jackson Tuckpointing Co., Inc. of the City of Dubuque, Iowa . For and in consideration of the mutual covenants herein contained, the parties hereto agree as follows: CONTRACTOR AGREES: 1. To furnish all material and equipment and to perform all labor necessary for the North Softening Basins Rehabilitation Project (the Project). The Project shall be completed as shown on the plans on file in the City Engineer's office for this Project; in strict accordance with the requirements of the laws of the State of Iowa and ordinances of the City of Dubuque relating to public works, and in accordance with the Contract Document shall of which provisions and documents are each and all hereby referred to and made a part of this Contract just as much as if the detail statements thereof were repeated herein. 2. Contract Documents shall mean and include the following: this improvement contract, all ordinances and resolutions heretofore adopted by the City Council having to do with the Project; the Notice to Bidders; the Contractor's Proposal; and the Plans, Specifications, and General Requirements as adopted by the City Council for the Project. 3. All materials used by the Contractor in the Project shall be the best of their several kinds and shall be put in place to the satisfaction of the City Manager. 4. The Contractor shall remove any materials rejected by the City Manager as defective or improper, or any of said work condemned as unsuitable or defective, and the same shall be replaced or done anew to the satisfaction of the City Manager at the cost and expense of the Contractor. 5. Five percent (5%) of the Contract price shall be retained by the City for a period of thirty (30) days after final completion and acceptance of the Project by the City Council to pay any claim that may be filed within said time for labor and materials done and furnished in connection with the performance of this Contract and for a longer period if such claims are not adjusted within that time, as provided in Iowa Code Chapter 573. 34334 Rev. 2 00510-1 The City shall also retain additional sums to protect itself against any claim that has been filed against it for damages to persons or property arising through the prosecution of the work and such sums shall be held by the City until such claims have been settled, adjudicated or otherwise disposed of. 6. The Contractor has read and understands the specifications including General Requirements and has examined and understands the plans herein referred to and agrees not to plead misunderstanding or deception because of estimates of quantity, character, location or other conditions surrounding the same. 7. In addition to the guarantee provided for in the specifications, the Contractor shall also make good any other defect in any part of the Project due to improper construction notwithstanding the fact that said Project may have been accepted and fully paid for by the City, and the Contractor's bond shall be security therefore. 8. The Contractor shall fully complete the Project under this Contract on or before November 30, 2014. 9. To the fullest extent permitted by law, the Contractor shall indemnify and hold harmless the City from and against all claims, damages, losses and expenses, including but not limited to attorneys' fees, arising out of or resulting from performance of the Contract, provided that such claim, damages, loss or expense is attributable to bodily injury, sickness, disease or death, or injury to or destruction of property including loss of use resulting there from, but only to the extent caused in whole or in part by negligent acts or omissions of the Contractor, the Contractor's subcontractor, or anyone directly or indirectly employed by the Contractor or the Contractor's subcontractor or anyone for whose acts the Contractor or the Contractor's subcontractor may be liable, regardless of whether or not such claim, damage, loss or expense is caused in part by a party indemnified hereunder. 34334 Rev. 2 00510-2 THE CITY AGREES: Upon the completion of the Contract, and the acceptance of the Project by the City Council, the City agrees to pay the Contractor as full compensation for the complete performance of this Contract, the amount determined for the total number of units completed at the unit prices stated in the Contractor's Proposal and Tess any liquidated damages provided for in the Contract Documents. The number of units stated in the plans and specifications is approximate only and the final payment shall be made by the work covered by the Contract. A. BASE BID ITEM - Furnish all labor, materials and equipment necessary to complete sandblasting and recoating all ferrous steel in the North Softening Basin area 1 and 2, except for masonry, glass, fiberglass, aluminum, plastic and insulated pipes. The Contractor will furnish all labor, materials, equipment, transportation, waste permitting, waste fees, testing, curtain walls/plastic and miscellaneous cleanup. The Contractor will also furnish steel stabilizer rods, any fasteners, proper waste disposal, water blasting to remove construction dust, vacuum coating removal of lintels, protection of electrical components, protection of water manufacture process and proper disinfection, including cleanup. Work shall not commence before September 8, 2014. Items that require special consideration include the following: • All lime build-up needs to be removed as much as possible prior to blasting and coating operation. • The fiberglass weirs need to be removed before blasting operation and reinstalled after all coating is complete. • PVC piping is to be protected at all times and does not need to be coated. • All debris must be captured and no waste material be exposed to the process of treating water for consumption. • Steel stabilizing rods will be replaced and coated [4 per basin (TYP)]. • Electrical motors and equipment needs to be protected from power washing, sandblasting and painting. AH of this work, surface preparations, recoating, disinfection, and miscellaneous associated work, including cleanup for the lump sum amount of ONE HUNDRED SEVENTY EIGHT THOUSAND AND 00/100 Dollars ($178,000.00). 34334 Rev. 2 00510-3 FURTHER CONDITIONS The Contractor hereby represents and guarantees that it has not, nor has any other person for or in its behalf, directly or indirectly, entered into any arrangement or agreement with any other bidder, or with any public officer, whereby it has paid or is to pay any other bidder or public officer any sum of money or anything of value whatever in order to obtain this Contract; and it has not, nor has another person for or in its behalf directly or indirectly, entered into any agreement or arrangement with any other person, firm, corporation or association which tends to or does lessen or destroy free competition in the letting of this Contract and agrees that in case it hereafter be established that such representations or guarantees, or any of them are false, it will forfeit and pay not Tess than ten percent (10%) of the Contract price but in no event be less than $500.00 (Five - Hundred -Dollars) as liquidated damages to the City. The surety on the bond furnished for this Contract, shall in addition to all other provisions, be obligated to the extent provided for by Iowa Code § 573.6, relating to this Contract, which provisions apply to said bond. The Contractor agrees, and its bond shall be surety therefore, that it will keep and maintain the Project in good repair for a period of two years after acceptance of the same by the City Council and its bond shall be security therefore. CITY OF DUBUQUE, IOWA By City Manager PRINCIPAL: B ekack��-1uco‘6,‘ • 4ac. Contractor CERTIFICATE OF CITY CLERK This is to certify that a -rtified copy of the above Contract has been filed in my office on the 7aS'day of , 2014. Kevin F nstahl, Ci Clerk 34334 Rev. 2 00510-4 CONTRACT FORM 3 CITY OF DUBUQUE, IOWA IMPROVEMENT CONTRACT NORTH SOFTENING BASINS REHABILITATION PROJECT THIS IMPROVEMENT CONTRACT (the Contract), made in triplicate, dated for reference purposes the 2nd day of June , 2014, between the City of Dubuque, Iowa, by its City Manager, through authority conferred upon the City Manager by its City Council (City) and Fred Jackson Tuckpointing Co., Inc. of the City of Dubuque, Iowa . For and in consideration of the mutual covenants herein contained, the parties hereto agree as follows: CONTRACTOR AGREES: 1. To furnish all material and equipment and to perform all labor necessary for the North Softening Basins Rehabilitation Project (the Project). The Project shall be completed as shown on the plans on file in the City Engineer's office for this Project; in strict accordance with the requirements of the laws of the State of Iowa and ordinances of the City of Dubuque relating to public works, and in accordance with the Contract Document shall of which provisions and documents are each and all hereby referred to and made a part of this Contract just as much as if the detail statements thereof were repeated herein. 2. Contract Documents shall mean and include the following: this improvement contract, all ordinances and resolutions heretofore adopted by the City Council having to do with the Project; the Notice to Bidders; the Contractor's Proposal; and the Plans, Specifications, and General Requirements as adopted by the City Council for the Project. 3. All materials used by the Contractor in the Project shall be the best of their several kinds and shall be put in place to the satisfaction of the City Manager. 4. The Contractor shall remove any materials rejected by the City Manager as defective or improper, or any of said work condemned as unsuitable or defective, and the same shall be replaced or done anew to the satisfaction of the City Manager at the cost and expense of the Contractor. 5. Five percent (5%) of the Contract price shall be retained by the City for a period of thirty (30) days after final completion and acceptance of the Project by the City Council to pay any claim that may be filed within said time for labor and materials done and furnished in connection with the performance of this Contract and for a longer period if such claims are not adjusted within that time, as provided in Iowa Code Chapter 573. 34334 Rev. 2 00510-1 The City shall also retain additional sums to protect itself against any claim that has been filed against it for damages to persons or property arising through the prosecution of the work and such sums shall be held by the City until such claims have been settled, adjudicated or otherwise disposed of. 6. The Contractor has read and understands the specifications including General Requirements and has examined and understands the plans herein referred to and agrees not to plead misunderstanding or deception because of estimates of quantity, character, location or other conditions surrounding the same. 7. In addition to the guarantee provided for in the specifications, the Contractor shall also make good any other defect in any part of the Project due to improper construction notwithstanding the fact that said Project may have been accepted and fully paid for by the City, and the Contractor's bond shall be security therefore. 8. The Contractor shall fully complete the Project under this Contract on or before November 30, 2014. 9. To the fullest extent permitted by law, the Contractor shall indemnify and hold harmless the City from and against all claims, damages, losses and expenses, including but not limited to attorneys' fees, arising out of or resulting from performance of the Contract, provided that such claim, damages, loss or expense is attributable to bodily injury, sickness, disease or death, or injury to or destruction of property including loss of use resulting there from, but only to the extent caused in whole or in part by negligent acts or omissions of the Contractor, the Contractor's subcontractor, or anyone directly or indirectly employed by the Contractor or the Contractor's subcontractor or anyone for whose acts the Contractor or the Contractor's subcontractor may be liable, regardless of whether or not such claim, damage, loss or expense is caused in part by a party indemnified hereunder. 34334 Rev. 2 00510-2 THE CITY AGREES: Upon the completion of the Contract, and the acceptance of the Project by the City Council, the City agrees to pay the Contractor as full compensation for the complete performance of this Contract, the amount determined for the total number of units completed at the unit prices stated in the Contractor's Proposal and less any liquidated damages provided for in the Contract Documents. The number of units stated in the plans and specifications is approximate only and the final payment shall be made by the work covered by the Contract. A. BASE BID ITEM - Furnish all labor, materials and equipment necessary to complete sandblasting and recoating all ferrous steel in the North Softening Basin area 1 and 2, except for masonry, glass, fiberglass, aluminum, plastic and insulated pipes. The Contractor will furnish all labor, materials, equipment, transportation, waste permitting, waste fees, testing, curtain walls/plastic and miscellaneous cleanup. The Contractor will also furnish steel stabilizer rods, any fasteners, proper waste disposal, water blasting to remove construction dust, vacuum coating removal of lintels, protection of electrical components, protection of water manufacture process and proper disinfection, including cleanup. Work shall not commence before September 8, 2014. Items that require special consideration include the following: • All lime build-up needs to be removed as much as possible prior to blasting and coating operation. • The fiberglass weirs need to be removed before blasting operation and reinstalled after all coating is complete. • PVC piping is to be protected at all times and does not need to be coated. • All debris must be captured and no waste material be exposed to the process of treating water for consumption. • Steel stabilizing rods will be replaced and coated [4 per basin (TYP)]. • Electrical motors and equipment needs to be protected from power washing, sandblasting and painting. All of this work, surface preparations, recoating, disinfection, and miscellaneous associated work, including cleanup for the lump sum amount of ONE HUNDRED SEVENTY EIGHT THOUSAND AND 00/100 Dollars ($178,000.00). 34334 Rev. 2 00510-3 FURTHER CONDITIONS The Contractor hereby represents and guarantees that it has not, nor has any other person for or in its behalf, directly or indirectly, entered into any arrangement or agreement with any other bidder, or with any public officer, whereby it has paid or is to pay any other bidder or public officer any sum of money or anything of value whatever in order to obtain this Contract; and it has not, nor has another person for or in its behalf directly or indirectly, entered into any agreement or arrangement with any other person, firm, corporation or association which tends to or does lessen or destroy free competition in the letting of this Contract and agrees that in case it hereafter be established that such representations or guarantees, or any of them are false, it will forfeit and pay not less than ten percent (10%) of the Contract price but in no event be less than $500.00 (Five - Hundred -Dollars) as liquidated damages to the City. The surety on the bond furnished for this Contract, shall in addition to all other provisions, be obligated to the extent provided for by Iowa Code § 573.6, relating to this Contract, which provisions apply to said bond. The Contractor agrees, and its bond shall be surety therefore, that it will keep and maintain the Project in good repair for a period of two years after acceptance of the same by the City Council and its bond shall be security therefore. CITY OF DUBUQUE, IOWA PRINCIPAL: By City Manager ccec 0.L niAs- 0t 40.3Cc> mac. Contractor By. / Signature; Title CERTIFICATE OF CITY CLERK This is to certify that a c-rtifi-d copy of the above Contract has been filed in my office on the 0,2Alf day of , 2014. -077,00 Kevin irnstahl, City CI 34334 Rev. 2 00510-4 Bond 4IAC582999 CONTRACT FORM 4 CITY OF DUBUQUE, IOWA PERFORMANCE, PAYMENT AND MAINTENANCE BOND KNOWN ALL MEN BY THESE PRESENTS: That Fred Jackson Tuckpointing Co. Inc. as Principal (Contractor) and Merchants Bonding Company as Surety are held firmly bound unto the City of Dubuque, Iowa (City), in the penal sum of $178,000.00 the same being 100% of the total price of the Contract for the Project herein referred to, lawful money of the United States of America, well and truly to be paid to said City of Dubuque, and to all other parties who, under the provisions of the laws of Iowa, are intended to be protected and secured hereby for which payment we bind ourselves, our heirs, executors, successors and assigns, jointly and severally by these presents. Dated at Dubuque, Iowa, this 11th day of attested and sealed. June , 2014, and duly WHEREAS, the said Contractor by a Contract dated June 2, 2014 incorporated herein by reference, has agreed with said City of Dubuque to perform all labor and furnish all materials required to be performed and furnished for the North Softening Basins Rehabilitation Project (the Project) according to the Contract and Construction Documents prepared therefore. It is expressly understood and agreed by the Contractor and Surety bond that the following provisions are a part of this Bond and are binding upon said Contractor and Surety, to -wit: 1. PERFORMANCE BOND: The Contractor shall well and faithfully observe, perform, fulfill and abide by each and every covenant, condition and part of said Contract and Contract Documents, by reference made a part hereof, for the Project, and shall indemnify and save harmless the City from all outlay and expense incurred by the City by reason of the Contractor's default of failure to perform as required. The Contractor shall also be responsible for the default or failure to perform as required under the Contract and Contract Documents by all its subcontractors, suppliers, agents, or employees furnishing materials or providing labor in the performance of the Contract. 2. PAYMENT BOND: The Contractor and the Surety shall pay all just claims submitted by persons, firms, subcontractors, and corporations furnishing materials for or performing labor in the performance of the Contract on account of which this Bond is given, including but not limited to claims for all amounts due for labor, materials, lubricants, oil, gasoline, repairs on machinery, equipment and tools, consumed or used by the Contractor or any subcontractor, wherein the same are not satisfied out of the portion of the contract price which the City is required to retain until completion of the improvement, but the Contractor and Surety shall not be liable to said persons, firms, or corporations unless the claims of said claimants against said portion of the 34334 00610-1 contract price shall have been established as provided by law. The Contractor and Surety hereby bind themselves to the obligations and conditions set forth in Chapter 573, Code of Iowa, which by this reference is made a part hereof as though fully set out herein. 3. MAINTENANCE BOND: The Contractor and the Surety hereby agree, at their own expense: A. To remedy any and all defects that may develop in or result from work to be performed under the Contract within the period of two (2) year(s) from the date of acceptance of the work under the Contract by the City Council of the City of Dubuque, Iowa, by reason of defects in workmanship or materials used in construction of said work; B. To keep all work in continuous good repair; and C. To pay the City the reasonable costs of monitoring and inspection to assure that any defects are remedied, and to repay the City all outlay and expense incurred as a result of Contractor's and Surety's failure to remedy any defect as required by this section. Contractor's and Surety's agreement herein made extends to defects in workmanship or materials not discovered or known to the City at the time such work was accepted. NOW, THEREFORE, the condition of this obligation is such that if the said Contractor shall perform all of the work contemplated by the Contract in a workmanlike manner and in strict compliance with the plans and specifications, and will pay all claims for labor and materials used in connection with said Project, to indemnify the said City for all damages, costs and expense incurred by reason of damages to persons or property arising through the performance of said Contract, and will reimburse the City for any outlay of money which it may be required to make in order to complete said Contract according to the Construction Documents and will maintain in good repair said Project for the period specified in the Contract where this bond is obligated for maintenance, and will faithfully comply with all of the provisions of Section 573 of the Code of Iowa, then this obligation shall be null and void, otherwise it shall remain in full force and effect. All the conditions of this bond must be fully complied with before the Contractor or the Surety will be released. The Contract, Contractor's Proposal, and Construction Documents shall be considered as a part of this Bond just as if their terms were repeated herein. 34334 00610-2 Dated at Dubuque, Iowa this llth day of June , 2014. CITY OF DUBUQUE, 10 PRINCIPAL: By: Fred Jackson Tuckpointing Co., inc. City Manager Contractor 34334 By: M, oSi‘s;:. Signature Title SURETY: Merchants Bonding Company Surety Company Signature Attorney -in -Fact Title Dubuque, IA 52001 City, State, Zip Code 563-556-5441 00610-3 MERCHANTIS BONDING COMPANY POWER OF ATTORNEY Know AH Persons By These Presents, that MERCHANTS BONDING COMPANY (MUTUAL) and MERCHANTS NATIONAL BONDING, INC., both being corporations duly organized under the laws of the State of Iowa (herein collectively called the "Companies"), and that the Companies do hereby make, constitute and appoint, individually, Charles J. Andracchio, Jill Conrad, Ada M. Davidson, Kevin L. Ehrlich, David H. Fritz, Tammy M. Harms -Myers, Diana K. Hedrick, Corinne Ihm, Stephanie Needham, Keith M. Sindberg, Jodi M. Stevens, Kim Hess, Olivia R Schmitt of Dubuque and State of Iowa their true and lawful Attorney -in -Fact, with full power and authority hereby conferred in their name, place and stead, to sign, execute, acknowledge and deliver in their behalf as surety any and all bonds, undertakings, recognizances or other written obligations in the nature thereof, subject to the limitation that any such instrument shall not exceed the amount of: ONE MILLION ($1,000,000.00) DOLLARS and to bind the Companies thereby as fully and to the same extent as if such bond or undertaking was signed by the duly authorized officers of the Companies, and all the acts of said Attorney -in -Fact, pursuant to the authority herein given, are hereby ratified and confirmed. This Power -of -Attorney is made and executed pursuant to and by authority of the following By -Laws adopted by the Board of Directors of the Merchants Bonding Company (Mutual) on April 23, 2011 and adopted by the Board of Directors of Merchants National Bonding, Inc., on October 24, 2011. 'The President, Secretary, Treasurer, or any Assistant Treasurer or any Assistant Secretary or any Vice President shall have power and authority to appoint Attorneys -in -Fact, and to authorize them to execute on behalf of the Company, and attach the seal of the Company thereto, bonds and undertakings, recognizances, contracts of indemnity and other writings obligatory in the nature thereof. The signature of any authorized officer and the seal of the Company may be affixed by facsimile or electronic transmission to any Power of Attorney or Certification thereof authorizing the execution and delivery of any bond, undertaking, recognizance, or other suretyship obligations of the Company, and such signature and seal when so used shall have the same force and effect as though manually fixed." In Witness Whereof, the Companies have caused this instrument to be signed and sealed this 22nd day of July , 2013 . STATE OF IOWA COUNTY OF POLK ss. MERCHANTS BONDING COMPANY (MUTUAL) MERCHANTS NATIONAL BONDING, INC. President On this 22nd day of July 2013 before me appeared Larry Taylor, to me personally known, who being by me duly sworn did say that he is President of the MERCHANTS BONDING COMPANY (MUTUAL) and MERCHANTS NATIONAL BONDING, INC.; and that the seals affixed to the foregoing instrument is the Corporate Seals of the Companies; and that the said instrument was signed and sealed in behalf of the Companies by authority of their respective Boards of Directors. In Testimony Whereof, I have hereunto set my hand and affixed my Official Seal at the City of Des Moines, Iowa, the day and year first above written. MARANDA GREENWALT Tr Commission Number 770372 owe My Commission Expires October 28, 2014 STATE OF IOWA COUNTY OF POLK ss. /77 rt,C fit+: l Notary Public, Polk County, Iowa I, William Warner, Jr., Secretary of the MERCHANTS BONDING COMPANY (MUTUAL) and MERCHANTS NATIONAL BONDING, INC., do hereby certify that the above and foregoing is a true and correct copy of the POWER-OF-ATTORNEY executed by said Companies, which is still in full force and effect and has not been amended or revoked. In Witness Whereof, I have hereunto set my hand and affixed the seal of the Companies on this 11th day of June ,..,f2:1,4;,,,,. 2 �,..... 11014,,••'p�NG.�o4.. // ' `er•, o O'?4 7.°�0��(1POg1�gti• /G^� c/ �f� / V-0 - ``ti • L :: ti : 2 p 3 G✓G/I�r�ii fiG� ..% : a' 1933 : c Secretary sJ 2003 •:',�-4. .y�. •am,•• d%' . POA 0014 (11/11) �▪ ''• ly'•.......:%0��,.• •'••3ty \1a• ••• COVERAGES • — ------__.-• rtcv1.71V1Y IYUIvloI r(: THIS IS TO CERTIFY THAT THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD INDICATED. NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLIC ES DESCRIBED HEREIN 15 SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS. INSR LTR TYPE OF INSURANCE ADDL SUER INsgI YAW POLICY NUMBER POLICY EFF /Y JMMIDDYYY) (MM OD//YOLICY YXYP I') LIMITS A GENERAL X I LIABILITY COMMERCIAL GENERAL LIABILITY INSURER A : Acuity INSURER B :American Interstate 14184 31895 F13944 01/01/2014 01/01/2015 EACH OCCURRENCE PREM $ 1,000 000 $ 100,000 INSURER E : INSURER F : SESD(Ea occurrence}l CLAIMS -MADE X i OCCUR MED EXP $ 5,000 (Any one person) PERSONAL & ADV INJURY $ 1,000,000 GENERAL AGGREGATE $ 2,000,000 GEN'L AGGREGATE —1 LIMIT APPLIES PER: O• PR(:T PRODUCTS -COMP/OP AGG $ 2,000,000 POLICY X JF AUTOMOBILE LIABILITY COMBINED SINGLE LIMIT (Ea accident) $ 1,000,000 A X ANY AUTO ALL OWNED SCHEDULED P13944 01/01/2014 01/01/2015 BODILY INJURY (Per person) $ AUTOS _ AUTOS NON -O NED BODILY INJURY (Per accident) $ X I HIRED AUTOS X AUTOS PROPERTY DAMAGE (PER ACCIDENT) $ UMBRELLA LIAB OCCUR EACH OCCURRENCE $ 6,000,000 A X EXCESS LIAB CLAIMS -MADE F13944 01/01/2014 01/01/2015 AGGREGATE $ 6,000,000 DED I X i RETENTION $ 0 $ WORKERS COMPENSATIONI AND EMPLOYERS' LIABILITY Y 1N WC STATU- OTH- X I TORY LIMITS �, I ER $ 500,000 B ANY PROPRIETOR/PARTNER/EXECUTIVE OFFICER/MEMBER EXCLUDED? N / A AVWCIA2256862014 01/01/2014 01/01/2015 EL. EACH ACCIDENT (Mandatory in NH) If yes, describe under E.L DISEASE - EA EMPLOYEE $ 500,000 DESCRIPTION OF OPERATIONS below E.L. DISEASE - POLICY LIMIT $ 500,000 DESCRIPTION OF OPERATIONS / LOCATIONS / VEHICLES (Attach ACORD 101, Additional Remarks Schedule If more space Is required) The City of Dubuque is an addtl ins on the gen liab ongoing & completed ops Gen Liab is primary & non-contributing. Per Project Aggr applies. Government Immunities Endorsement attached. A waiver of subrogation on the work comp applies per attached form. 30 Day Cancellation Clause included in Form IL7063 Project: North Softening Basins Rehabilitation Project FREDJAC-01 DHEDRICK "-sot— ` ilia CERTIFICATE OF LIABILITY INSURANCE DATE(MM/DD/YYYY) 6/11lZ014 THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE CERTIFICATE DOES NOT AFFIRMATIVELY OR NEGATIVELY AMEND, EXTEND OR ALTER THE COVERAGE AFFORDED BELOW. THIS CERTIFICATE OF INSURANCE DOES NOT CONSTITUTE A CONTRACT BETWEEN THE ISSUING INSURER(S), REPRESENTATIVE OR PRODUCER, AND THE CERTIFICATE HOLDER. HOLDER. THIS BY THE POLICIES AUTHORIZED IMPORTANT: If the certificate holder is an ADDITIONAL INSURED, the policy(ies) must be endorsed. If SUBROGATION IS WAIVED, subject to the terms and conditions of the policy, certain policies may require an endorsement. A statement on this certificate does not confer rights to the certificate holder in lieu of such endorsement(s). PRODUCER TRICOR, Inc. - Dubuque 500 Iowa Street Dubuque, IA 52001 NAME: CT Keith Sindberg, CIC, CRM PHO jA/C NNEo, Ext): (563) 556-5441 FAx (A/C, No): (608) 723-6440 ADDRESS: ksindberg tricorinsurance.com INSURER(S) AFFORDING COVERAGE NAIC # INSURER A : Acuity INSURER B :American Interstate 14184 31895 INSURED Fred Jackson Tuckpointing Co. Inc. Jackson Realty LLC 425 E 28th St Dubuque, IA 52001 INSURER C : INSURER 0 : INSURER E : INSURER F : CANCELLATION City of Dubuque 50 W. 13th St. Dubuque, IA 52001 ACORD 25 (2010/05) SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE EXPIRATION DATE THEREOF, NOTICE WILL BE DELIVERED IN ACCORDANCE WITH THE POLICY PROVISIONS. AUTHORIZED REPRESENTATIVE © 1988-2010 ACORD CORPORATION. All rights reserved. The ACORD name and logo are registered marks of ACORD ADDITIONAL INSURED CITY OF DUBUQUE, IOWA This endorsement modifies insurance provided under the following: BUSINESS AUTO COVERAGE FORM COMMERCIAL GENERAL LIABILITY COVERAGE PART BIS-PAK BUSINESS LIABILITY AND MEDICAL EXPENSES COVERAGE FORM 1. The City of Dubuque, Iowa, including all its elected and appointed officials, all its employ- ees and volunteers, all its boards, commissions and/or authorities and their board members, employees and volunteers, are included as ad- ditional insureds with respect to all work and services performed for them. This coverage shall be primary to the additional insureds and not contributing with any other insurance or similar protection available to the additional in- sureds, whether other available coverage be primary, contributing or excess. 2. The following applies when the City of Du- buque, Iowa is named as an additional insured: a. We expressly agree and state that the pur- chase of this policy and the naming of the City of Dubuque, Iowa as an additional in- sured does not waive any of the defenses of governmental immunity available to the City of Dubuque, Iowa under the Code of Iowa Section 670.4 as it now exists and as it may be amended from time to time. b. We further agree that this policy of insur- ance shall cover only those claims not sub- ject to the defense of governmental immu- nity under the Code of Iowa Section 670.4 as it now exists and as it may be amended IL -7063(7-02) from time to time. Those claims not subject to the Code of Iowa Section 670.4 shall be covered by the terms and conditions of this policy. c. The City of Dubuque, Iowa shall be respon- sible for asserting any defense of govern- mental immunity, and may do so at any time and shall do so upon timely written request by us. d. We shall not deny coverage under this poli- cy and we shall not deny any of the rights and benefits accruing to the City of Du- buque, Iowa under this policy for reasons of governmental immunity unless and until a court of competent jurisdiction has ruled in favor of the defense(s) of governmental im- munity asserted by the City of Dubuque, Iowa. e. We and the City of Dubuque, Iowa agree that the above preservation of governmental immunities shall not otherwise change or alter the coverage available under the poli- cy. 3. We will give thirty (30) days advance written notice of cancellation, nonrenewal, reduction in coverage or limits and/or material change by endorsement and ten (10) days written notice for nonpayment of premium to: City of Dubuque and Dubuque County, City Hall, 13th and Cen- tral, Dubuque, IA 52001. This endorsement su- persedes the standard cancellation statement on the Certificate of Insurance to which this endorsement is attached. ADDITIONAL INSURED - OWNERS, LESSEES OR CONTRACTORS - AUTO- MATIC STATUS WHEN REQUIRED IN CONSTRUCTION AGREEMENT WITH YOU - PRIMARY AND NONCONTRIBUTORY This endorsement modifies insurance provided under the following: COMMERCIAL GENERAL LIABILITY COVERAGE PART 1. Section 11 - Who Is An Insured is amended to include as an additional insured: a. Any person or organization for whom you are performing operations when you and such person or organization have agreed in writing in a contract or agreement that such person or organization be added as addi- tional insured on your policy; and b. Any other person or organization you are required to add as an additional insured under the contract or agreement described in paragraph a above. Such person or organization is an additional insured only with respect to liability for bodily injury, property damage or personal and ad- vertising injury caused, in whole or in part, by: a. Your acts or omissions; or b. The acts or omissions of those acting on your behalf; in the performance of your ongoing operations for the additional insured. A person's or organization's status as an addi- tional insured under this endorsement ends when your operations for that additional insured are completed. 2. With respect to the insurance afforded to these additional insureds, the following additional ex- clusions apply: CG -7194(5-13) This insurance does not apply to: a. Bodily injury, property damage or personal and advertising injury arising out of the ren- dering of, or the failure to render, any pro- fessional architectural, engineering or sur- veying services, including: (1) The preparing, approving or failing to prepare or approve maps, shop drawings, opinions, reports, surveys, field orders, change orders or drawings and specifications; or (2) Supervisory, inspection, architectural or engineering activities. b. Bodily injury or property damage occurring after: (1) All work, including materials, parts or equipment furnished in connection with such work, on the project (other than service, maintenance or repairs) to be performed by or on behalf of the addi- tional insured(s) at the location of the covered operations has been complet- ed; or (2) That portion of your work out of which the injury or damage arises has been put to its intended use by any person or organization other than another con- tractor or subcontractor engaged in per- forming operations for a principal as a part of the same project. 3. The insurance provided by this endorsement is primary and noncontributory. ADDITIONAL INSURED - COMPLETED OPERATIONS - PRIMARY AND NONCONTRIBUTORY AUTOMATIC STATUS WHEN REQUIRED IN CONSTRUCTION AGREEMENT WITH YOU (OWNERS, LESSEES OR CONTRACTORS) This endorsement modifies insurance provided under the following: COMMERCIAL GENERAL LIABILITY COVERAGE PART 1. Section 11 - Who Is An Insured is amended to include as an additional insured: a. Any person(s) or organization(s) for whom you have performed operations if you and such person(s) or organization(s) have agreed in writing in a contract or agreement that such person(s) or organization(s) be added as an additional insured on your poli- cy for completed operations; and b. Any other person(s) or organization(s) you are required to add as an additional insured under the contract or agreement described in paragraph a above. Such person or organization is an additional insured only with respect to liability included in the products -completed operations hazard for bodily injury or property damage caused, in whole or in part, by your work performed for that additional insured at the location desig- nated and described in the contract or agree- ment. CG -7274(5-13) 2. This insurance does not apply to: a. Bodily injury or property damage which oc- curs prior to the execution of the contract or agreement described in item 1; or b. Bodily injury or property damage that oc- curs after the time period during which the contract or agreement described in item 1 requires you to add such person or or- ganization onto your policy as an additional insured for completed operations; or c. Bodily injury or property damage arising out of the rendering of, or the failure to render, any professional, architectural, engineering or surveying services, including: (1) The preparing, approving or failing to prepare or approve maps, shops drawings, opinions, reports, surveys, field orders, change orders or drawings and specifications; or (2) Supervisory, inspection, architectural or engineering activities. 3. The insurance provided by this endorsement is primary and noncontributory. AMERICAN INTERSTATE INSURANCE COMPANY WC 99 03 13 Original Printing Effective May 1997 Standard WAIVER OF OUR RIGHT TO RECOVER FROM OTHERS ENDORSEMENT We have the right to recover our payments from anyone liable for an injury covered by this policy. We will not enforce our right against the person or organization named in the Schedule, but this waiver applies only with respect to bodily injury arising out of the operations described in the Schedule where you are required by a written contract to obtain this waiver from us. This endorsement shall not operate directly or indirectly to benefit anyone not named in the Schedule. This premium for this endorsement is shown in the Schedule. Schedule 1. ® Specific Waiver Name of person or organization City of Dubuque 0 Blanket Waiver Any person or organization for whom the Named Insured has agreed by written contract to furnish this waiver. 2. Operations: 3. Premium: ® Specific Waiver The premium charge for this endorsement shall be 5 percent of the premium developed on payroll in connection with work performed for the above persons(s) or organization(s) arising out of the operations described 0 Blanket Waiver The premium charge for this endorsement shall be percent of the total policy premium arising out of the operations described. 4. Minimum Premium: $ 250 "To be adjusted at final audit" 5. Advance Premium: 'To be adjusted at final audit" WC 99 03 13 (5197) CITY OF DUBUQUE, IOWA SALES AND USE TAX EXEMPTION CERTIFICATE The City of Dubuque, as a designated exempt entity awarding construction contracts on or after January 1, 2003, may issue special exemption certificates to contractors and subcontractors, allowing them to purchase, or withdraw from inventory, materials for the contract free from sales tax pursuant to Iowa Code Sections: 422.42 (15) & (16), and 422.47 (5). This special exemption certificate may also allow a manufacturer of building materials to consume materials in the performance of a construction contract without owing tax on the fabricated cost of those materials. If the Jurisdiction, at its option, decides to utilize this exemption option, it will so state by special provision and publication in the Notice of Hearing and Letting. 1. Upon award of contract, the Jurisdiction will register the contract, Contractor, and each subcontractor with the Iowa Department of Revenue and Finance; and distribute tax exemption certificates and authorization letters to the Contractor and each subcontractor duly approved by the Jurisdiction in accordance with Section 1030, 1.10, B. These documents allow the Contractor and subcontractors to purchase materials for the contract free from sales tax. The Contractor and subcontractors may make copies of the tax exemption certificate and provide a copy to each supplier providing construction material. These tax exemption certificates and authorization letters are applicable only for the work under the contract. 2. At the time the Contractor requests permission to sublet in accordance with said Section 1030, 1.10, 13, the Contractor shall provide a listing to the Jurisdiction identifying all subcontractors, including the Federal Employer Identification Number (FEIN) for the Contractor and all subcontractors, as well as the name, address, telephone number, and a representative of the organization which will perform the work, a description of the work to be sublet, and the associated cost. 3. The Contractor and each subcontractor shall comply with said Iowa Code Sales Tax requirements, shall keep records identifying the materials and supplies purchased and verify that they were used on the contract, and shall pay tax on any materials purchased tax-free and not used on the contract. 34334 00620-1 PROJECT INFORMATION REQUIREMENTS FOR STATE OF IOWA SALES TAX EXEMPTION CERTIFICATES FOR CONTRACTORS & SUBCONTRACTORS Submitting Department: WATER DEPARTMENT Please complete this form in its entirety and submit along with the executed Construction Contracts, Bonds and Certificate of Insurance. Upon receipt, the City Finance Department will work with the Iowa Department of Revenue to issue Sales Tax Exemption Certificates to the approved contractor(s) to allow for the purchase or inventory withdrawal of materials for the specified Construction Project free from State of Iowa Sales Tax. Construction Project Name: I North Softening Basins Rehabilitation Project Project Description: The North Softening Basins Rehabilitation Project will provide for coating of the interior steel structures and cleaning of the basin area. Start Date (Bid let date): May 22, 2014 Completion Date: November 30, 2014 1. General Prime Contractor: Fred Jackson Tuckpointing Co., Inc. Contact Name: Grp(} EAS -f- 7a1'` 572/X.7 Complete Address: (Include PO Sox and Street Information) 475 E. 28'h Street City, State, Zip Code Dubuque, Iowa 52001 Telephone Number ti 58 3-890% Federal I.D. Number: (or Include Social Security Number) c2 08co(o SG. Work Type to be Completed: 2• Subcontractor: �Zgy,EC aAA.51euc-7`.1'on-1 eo. /D/S C'E•r/7 tatc/ aXCGf_ Grp(} EAS -f- 7a1'` 572/X.7 Complete Address: (Include PO Box and Street Information) P-181l(,oz, Too -i4 Shop f 5t,3/5' - c2o s,e 449_O S"94Fr0Lp City, State, Zip Code gjyGy1-/r, ...-2-04, SoOC3 a 63 -` Da? Work Type to be Completed: Telephone Number: Federal I.D. Number: (or Include Social Security Number) [�a, /y� 3� (p 3 Work Type to be Completed: A7.tc7`.Z7J( euIe%gTN lr%AGG 3 S4:143centra4tAF: StjpPG.re'. NT /�06,4.ENT17t4Cf/L eo. Complete Address: (Include PO Box and Street Information) Grp(} EAS -f- 7a1'` 572/X.7 City, State, Zip Code P-181l(,oz, Too -i4 Shop f 5t,3/5' - c2o s,e 449_O S"94Fr0Lp Telephone Number: Federal I.D. Number: (or Include Social Security Number) Work Type to be Completed: S% .bZ "2-4,A1(4/(Aci-a,ZTA) a 34334 00620-2 PROJECT INFORMATION PAGE 2 4. Subcontractor: Complete Address: (Include PO Box and Street Information) City, State, Zip Code Telephone Number: Federal I.D. Number: (or Include Social Security Number) Work Type to be Completed: 5. Subcontractor: Complete Address: (Include PO Box and Street Information) City, State, Zip Code Telephone Number: Federal I.D. Number: (or Include Social Security Number) Work Type to be Completed: 6. Subcontractor: Complete Address: (Include PO Box and Street Information) City, State, Zip Code Telephone Number: Federal I.D. Number: (or Include Social Security Number) Work Type to be Completed: 7. Subcontractor: Complete Address: (Include PO Box and Street Information) City, State, Zip Code Telephone Number: Federal I.D. Number: (or Include Social Security Number) Work Type to be Completed: 34334 00620-3 Bidder Status Form To be completed by all bidders Part A Ple a answer "Yes" or "No" for each of the following: Yes ❑ No My company is authorized to transact business in Iowa. (To help you determine if your company is authorized, please review the worksheet on the next page). Yes 0 No My company has an office to transact business in Iowa. Yes D No My company's office in Iowa is suitable for more than receiving mail, telephone calls, and e-mail. es ❑ No My company has been conducting business in Iowa for at least 3 years prior to the first request for bids on this project. Yes ❑ No My company is not a subsidiary of another business entity or my company is a subsidiary of another business entity that would qualify as a resident bidder in Iowa. If you answered "Yes" for each question above, your company qualifies as a resident bidder. Please complete Paris B and D of this form. If you answered "No" to one or more questions above, your company is a nonresident bidder. Please complete Parts C and D of this form. To be completed by resident bidders Part B My company has maintained offices in Iowa during the past 3 years at the following addresses: Dates: / / / / r 0 / I to 1 / 7 / (©iei Address y7C- GAJ c:?f ifiS)-- City, State, Zip. .64'R4'Qti,C, .:2-044.,A Sd00 / Dates* / / to / / Address' City, State, Zip: Dates: / / to / / Address: You may attach additional-sheet(s) if needed. City, State, Zip' To be completed by non-resident bidders Part C 1. Name of home state or foreign country reported to the Iowa Secretary of State: 2. Does your company's home state or foreign country offer preferences to bidders who are residents? ❑ Yes ❑ No 3. If you answered "Yes" to question 2, identify each preference offered by your company's home state or foreign country and the appropriate legal citation. You may attach additional sheet(s) if needed. To be completed by all bidders Part D I certify that the statements made on this document are true and complete to the best of my knowledge and I know that my failure to provide accurate and truthful information - \may be a reason to reject my. bid. Firm Name: ' \' i► _ ., `� Signatur 0. Date: 1/11 / o us submit the completed form to the governmental body requesting bids per 875 Iowa Administrative Code Chapter 156. This form has been approved by the Iowa Labor Commissioner. 309-0001 02-14 This worksheet may be describes your busines ❑ Yes VINo ❑ Yes o My business is a general partnership or joint venture. More than 50 percent of the general partners or joint venture parties are residents of Iowa for Iowa income tax purposes. Worksheet: Authorization to Transact Business used to help complete Part A of the Resident Bidder Status form. If at least one of the following s, you are authorized to transact business in Iowa. My business is currently registered as a contractor with the Iowa Division of Labor. My business is a sole proprietorship and I am an Iowa resident for Iowa income tax purposes. Yes ❑ No D Yes ❑ Yes j-iNo ❑ Yes 12/1\lo ❑ Yes ❑ Yes ❑ Yes O Yes My business is an active corporation with the Iowa Secretary of State and has paid all fees required by the Secretary of State, has filed its most recent biennial report, and has not filed articles of dissolution. My business is a corporation whose articles of incorporation are filed in a state other than Iowa, the corporation has received a certificate of authority from the Iowa secretary of state, has filed its most recent biennial report with the secretary of state, and has neither received a certificate of withdrawal from the secretary of state nor had its authority revoked. My business is a limited liability partnership which has filed a statement of qualification in this state and the statement has not been canceled. My business is a limited liability partnership which has filed a statement of qualification in a state other than Iowa, has filed a statement of foreign qualification in Iowa and a statement of cancellation has not been filed. My business is a limited partnership or limited liability limited partnership which has filed a certificate of limited partnership in this state, and has not filed a statement of termination. My business is a limited partnership or a limited liability limited partnership whose certificate of limited partnership is filed in a state other than Iowa, the limited partnership or limited liability limited partnership has received notification from the Iowa secretary of state that the application for certificate of authority has been approved and no notice of cancellation has been filed by the limited partnership or the limited liability Limited partnership. My business is a limited liability company whose certificate of organization is filed in lowa and has not filed a statement of termination. My business is a limited liability company whose certificate of organization is filed in a state other than Iowa, has received a certificate of authority to transact business in Iowa and the certificate has not been revoked or canceled. 309-6001 02-14 ARC 1271C LABOR SERVICES DIVISION[875] Adopted and Filed Pursuant to the authority of Iowa Code section 73A21, the Labor Commissioner hereby adopts anew Chapter 156, "Bidder Preferences in Government Contracting," Iowa Administrative Code. This amendment adopts new rules concerning preferences for resident bidders on government construction projects. The new chapter sets forth requirements for a public body involved in a public improvement and sets forth enforcement procedures. Notice of Intended Action was published in the October 30, 2013, Iowa Administrative Bulletin as ARC 1160C. Public comments regarding the proposed rules were received. Commenters stated that some of the rules could be misinterpreted and that some of the rules were beyond the statutory authority of Iowa Code section 73A.21. Commenters expressed ideas on how to make the bidding process more efficient. Commenters also questioned the constitutionality of Iowa Code section 73A.21. One commenter suggested adding compliance with Iowa Code chapter 91C 'as a basis to find that a company is authorized to transact business in Iowa. These rules are not identical to those published under Notice of Intended Action. Some changes are technical; other more substantive changes are described below. References to "domicile" were removed from several rules. Subrule 1562(1) was changed to clarify that the requirements apply only to a project to be awarded to the lowest responsible bidder; to clarify that only office addresses, not construction worksites, must be reported; to remove a reference to perjury; and to change the deadline for submitting a statement to the public body. Paragraph 156.2(2)"b" was changed by deleting the phrase "under this Act." Subrule 156.2(3) was changed by adding new paragraph "k" concerning construction contractor registration, and by clarifying that compliance with only one of the lettered paragraphs in the subrule is necessary. Paragraph 156.2(4)"b" was changed by adding the phrase "if applicable." In rule 875-156.3(73A), the term "public body" replaced the term "nonresident bidder." A new rule 875-156.9(73A) containing a severability clause was added. The principal reason for adoption of this amendment is to implement legislative intent. No variance procedures are included in these rules because variance provisions are set forth in 875—Chapter 1. After analysis and review of this rule making, no impact on jobs has been found. These rules are intended to implement Iowa Code section 73A.21. These rules shall become effective on February 12, 2014. The following amendment is adopted. Adopt the following new 875—Chapter 156: CHAPTER 156 BIDDER PREFERENCES IN GOVERNMENT CONTRACTING 875--156.1(73A) Purpose, scope and definitions. These rules institute administrative and operational procedures for enforcement of the Act. The definitions and interpretations contained in Iowa Code section 73A.21 shall be applicable to such terms when used in this chapter. "Act" means Iowa Code section 73A.21. "Affiliate, "when used with respect to any specified person or entity, means another person or entity that, either directly or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control or ownership. with, such specified person or entity. "Commissioner" means the labor commissioner appointed pursuant to Iowa Code section 91.2, or the labor commissioner's designee. "Division" means the division of labor of the department of workforce development 1 'Nonresident bidder" means a person or entity that does not meet the definition of a resident bidder, including any affiliate of any person or entity that is a nonresident bidder. 'Parent," when used with respect to any specified person or entity, means an affiliate controlling such specified person or entity directly or indirectly through one or more intermediaries. "Public body" means the state and any of its political subdivisions, including a school district, public utility, or the state board of regents. "Public improvement" means a building or other construction work to be paid for in whole or in part by the use of funds of the state, its agencies, and any of its political subdivisions and includes road construction, reconstruction, and maintenance projects. "Public utility" includes municipally owned utilities and municipally owned waterworks. "Resident bidder" means a person or entity authorized to transact business in this state and having a place of business for transacting business within the state at which it is conducting and has conducted business for at least three years prior to the date of the first advertisement for the public improvement. If another state or foreign country has a more stringent definition of a resident bidder, the more stringent definition is applicable as to bidders from that state or foreign country. "Resident labor force preference" means a requirement in which all or a portion of a labor force working on a public improvement is a resident of a particular state or country. "Subsidiary," when used with respect to any specified person or entity, is an affiliate controlled by such specified person or entity directly or indirectly through one or more intermediaries. 815-156.2(73A) Reporting of resident status of bidders. 156.2(1)- Reporting to public body. When a contract for a public improvement is to be awarded to the lowest responsible bidder, the public body shall request a statement from each bidder regarding the bidder's resident status. The statement shall be on the form designated by the commissioner. The statement shall require the bidder to certify whether the bidder is a resident bidder or a nonresident bidder. In the case of a resident bidder, the statement shall require the resident bidder to identify each office at which the resident bidder has conducted business in the state during the previous three years and the dates on which the resident bidder conducted business at each office. In the case of a nonresident bidder, the statement shall require the nonresident bidder to identify the nonresident bidder's home state or foreign country as reported to the Iowa secretary of state, to identify each preference offered by the nonresident bidder's home state or foreign country, and to certify that, except as set forth on the form, there are no other preferences offered by the nonresident bidder's home state or foreign country. The statement shall include such additional information as requested by the commissioner. The statement must be signed by an authorized representative of the bidder. A fully completed statement shall be deemed to be incorporated by reference into all project bid specifications and contract documents with any bidder on a public improvement. Failure to provide the statement with the bid may result in the bid being deemed nonresponsive. This may result in the bid being rejected by the public body. 156.2(2) Determining residency status. a. For purposes of the Act, a person or entity is a resident bidder if the person or entity: (1) Is authorized to transact business in Iowa; and (2) Has had one or more places of business in Iowa at which it is conducting or has conducted business in this state for at least three years immediately prior to the date of the first advertisement for the public improvement. b. If the person or entity is a resident of a state or foreign country that has a more stringent definition than is set forth in paragraph 156.2(2) "a" for determining whether a person or entity in that state or country is a resident bidder, then the more stringent definition applies. 156.2(3) Determining authorization to transact business. A person or entity is authorized to transact business in the state if one or more of the following accurately describes the person or entity: a. In the case of a sole proprietorship, the sole proprietor is an Iowa resident for Iowa income tax purposes; b. In the case of a general partnership or joint venture, more than 50 percent of the general partners or joint venture parties are residents of Iowa for Iowa income tax purposes; 2 c. In the case of a limited liability partnership which has filed a statement of qualification in this state, the statement has not been canceled; d. In the case of a limited liability partnership whose statement of qualification is filed in a state other than Iowa, the limited liability partnership has filed a statement of foreign qualification in Iowa and a statement of cancellation has not been filed pursuant to Iowa Code section 486A.105(4); e. In the case of a limited partnership or limited liability limited partnership whose certificate of limited partnership is filed in this state, the limited partnership or limited liability limited partnership has not filed a statement of termination; f In the case of a limited partnership or a limited liability limited partnership whose certificate of limited partnership is filed in a state other than Iowa, the limited partnership or limited liability limited partnership has received notification from the Iowa secretary of state that the application for certificate of authority has been approved and no notice of cancellation has been filed by the limited partnership or the limited Liability limited partnership; g. In the case of a limited liability company whose certificate of organization is filed in this state, the limited liability company has not filed a statement of termination; h. In the case of a limited liability company whose certificate of organization is filed in a state other than Iowa, the limited liability company has received a certificate of authority to transact business in this state and the certificate has not been revoked or canceled; i. In the case of a corporation whose articles of incorporation are filed in this state, the corporation (1) has paid all fees required by Iowa Code chapter 490, (2) has filed its most recent biennial report, and (3) has not filed articles of dissolution; j. In the case of a corporation whose articles of incorporation are filed in a state other than Iowa, the corporation (1) has received a certificate of authority from the Iowa secretary of state, (2) has filed its most recent biennial report with the secretary of state, and (3) has neither received a certificate of withdrawal from the secretary of state nor had its authority revoked; or • k The person or entity is registered with the Iowa division of labor as a construction contractor pursuant to Iowa Code chapter 9.1C. 156:2(4) Determining if bidder has conducted business in state. In order to determine if a bidder has a place of business for transacting business within Iowa at which it is conducting and has conducted business for at least three years prior to the date of the first advertisement of the public improvement, the bidder shall meet the following criteria for the three-year period prior to the first advertisement for the public improvement: . a. Continuously maintained a place of business for transacting business in Iowa that is suitable for more thanreceiving mail, telephone calls, and e-mails; and • b. Conducted business in the state for each of those three years and filed an Iowa income tax return, if applicable, made payments to the Iowa unemployment insurance fund, if applicable, and maintained an Iowa workers' compensation policy, if applicable, in effect for each of those three years. 875-156.3(73A) Application of preference. When awarding a contract for a public improvement to the lowest responsible bidder, the public body shall allow a preference to a resident bidder as against a nonresident bidder that is equal to any preference given or required by the home state or foreign country in which the nonresident bidder is a resident without regard to whether such preferences are actually enforced by the applicable regulatory body in each state. If the bidder is a subsidiary of a parent that would be a nonresident bidder if such parent were to bid on the public improvement in its own name, then the public body shall allow a preference as against such bidder that is equal to the preference given or required by the home state or foreign country of the bidder's parent. In the instance of a labor force preference, a public body shall apply the same resident labor force preference to a public improvement in this state as would be required in the construction of a public improvement by the home state or foreign country of the nonresident bidder, or the parent of a resident bidder if the parent would qualify as a nonresident bidder if such parent were to bid on the public improvement in its own name. A preference shall not be applied to a subcontractor unless the home state or foreign country of the nonresident bidder to whom the contract was awarded would apply a preference to the subcontractor. 3 Specific methods of calculating and applying a preference shall mirror those that apply in the home state or foreign country of the nonresident bidder to whom the contract was awarded. In the event that the specific method used by the nonresident bidder's home state or foreign country cannot be determined, the calculation for a labor force preference shall include only the labor force working on the public improvement in Iowa on a regular basis calculated by pay period. 875-156.4(73A) Complaints regarding alleged violations of the Act. 156.4(1) Complaints. Any person with information regarding a violation of the Act may submit a written complaint to the commissioner. Any complaint must provide the information required pursuant to subrule 156.4(2) or as much of such information as is reasonably practicable under the circumstances. The completed written complaint form shall be submitted to the commissioner at Labor Services Division, 1000 East Grand Avenue, Des Moines, Iowa 50319. 156.4(2) Written complaint form. The commissioner shall prepare a written complaint form that a person with information regarding a potential violation of the Act may submit pursuant to subrule 156.4(1). The written complaint form shall request the following information: the name, address, telephone number, and e-mail address of the complainant; the name of the bidder that is believed to have violated the Act; a description of any relationships between the complainant and the bidder; an identification of the public body to which the bidder submitted a bid; the home state or foreign country of the bidder, a description of the goods and services provided under the bid; and such additional information as requested by the commissioner. 156.4(3) Availability of written complaint form. The written complaint form shall be available in all division offices and on the department of workforce development's Internet Web site. 875-156.5(73A) Nonresident bidder record-keeping requirements. While participating in a public improvement, a nonresident bidder from a home state or foreign country with a resident labor force preference shall make and keep, for a period of not less than three years, accurate records of all workers employed by the contractor or subcontractor on the public improvement. The records shall include each worker's name, address, telephone number if available, social security number, trade classification, and starting and ending date of employment. 875--156.6(73A) Investigations; determination of civil penalty. The commissioner or an authorized designee shall cause an investigation to be made into charges of violations of the Act, including allegations set forth in a written complaint. 156.6(1) Investigative powers. The commissioner or the authorized designee shall have the following powers: a. Hearings. The commissioner may hold hearings and investigate charges of violations of the Act. b. Entry into place of employment. The commissioner may, consistent with due process of law, enter any place of employment to inspect records concerning labor force residency, to question an employer or employee, and to investigate those facts, conditions, or matters as are deemed appropriate in determining whether any person has violated the provisions of the Act. The commissioner shall only make an entry into a place of employment in response to a written complaint. c. Residency of workers. The commissioner may investigate and ascertain the residency of a worker engaged in any public improvement in this state. d. Oaths; depositions; subpoenas. The commissioner may administer oaths, take or cause to be taken deposition of witnesses, and require by subpoena the attendance and testimony of witnesses and the production of all books, registers, payrolls, and other evidence relevant to a matter under investigation or hearing. e. Employment of personnel. The commissioner may employ qualified personnel as are necessary for the enforcement of Iowa Code section 73A.21. The personnel shall be employed pursuant to the merit system .provisions of Iowa Code chapter 8A, subchapter TV. 4 f. Request for records. The commissioner shall require a contractor or subcontractor to file, within 10 days of receipt of a request, any records enumerated in rule 875-156.5(73A). If the contractor or subcontractor fails to provide the requested records within '10 days, the commissioner may direct, within 15 days after the end of the 10 -day period, that the fiscal or financial office charged with the custody and disbursement of funds of the public body that contracted for construction of the public improvement or undertook the public improvement, to withhold immediately from payment to the contractor or subcontractor up to 25 percent of the amount to be paid to the contractor or subcontractor under the terms of the contract or written instrument under which the public improvement is being performed. The amount withheld shall be immediately released upon receipt by the public body of a notice from the commissioner indicating that the request for records as required by this paragraph has been satisfied. 156.6(2) Division determination. Upon conclusion of an investigation, the commissioner or an authorized designee shall issue a written determination to the party that was the subject of the investigation. The determination shall indicate whether or not the division finds a violation of the Act by the party. If the determination indicates that the party engaged in a violation of the Act, the determination shall also indicate the remedies the division intends to pursue as a result of the violation. 156.6(3) Informal conference. A party seeking review of the division's determination pursuant to this rule may file a written request for an informal conference. The request must be received by the division within 15 days after the date of issuance of the division's determination. During the conference, the party seeking review may present written or oral information and arguments as to why the division's determination should be amended or vacated. The division shall consider the information and arguments presented and issue a written decision advising all parties of the outcome of the informal conference. 875-156.7(73A) Remedies. Following the conclusion of the informal conference, or following the expiration of the time in which a party may file a written request for an informal conference, the division may pursue the following remedies. 156.7(1) Injunctive relief. If the division determines that a violation of the'Act has occurred, the division may sue for injunctive relief against the awarding of a contract, the undertaking of a public improvement, or the continuation of a public improvement. 156.7(2) Civil penalty. Any person or entity that violates the provisions of this chapter is subject to a civil penalty in an amount not to exceed $1,000 for each violation found in a first investigation by the division, not to exceed $5,000 for each violation found in a second investigation by the division, and not to exceed $15,000 for a third or subsequent violation found in any subsequent investigation by the division. Each violation of this chapter for each worker and for each day the violation continues constitutes a separate and distinct violation. In determining the amount of the penalty, the division shall consider the appropriateness of the penalty to the person or entity charged, upon determination of the gravity of the violation(s). The collection of these penalties shall be enforced in a civil action brought by the attorney general on behalf of the division. 875-156.11(73A) Compliance with federal law. If it is determined that application of this chapter and the Act may cause denial of federal funds which would otherwise be available for a public improvement, or would otherwise be inconsistent with requirements of any federal law or regulation, the application of this chapter shall be suspended to the extent necessary to prevent denial of the funds or to eliminate the inconsistency with federal requirements. 875--156.9(73A) Severability. If any rule under this chapter, any portion of a rule under this chapter, or the applicability of any rule under this chapter to any person or circumstance is held invalid by a 5 court, the remainder of these rules or the rules' applicability to other persons or circumstances shall not be affected. These rules are intended to implement Iowa Code section 73A.21. [Filed 12/16/13, effective 2/12/14] [Published 1/8/14] EnrroR's NOTE: For replacement pages for IAC, see IAC Supplement 1/8/14. 6